board of management meeting of 21 july 2015...jul 21, 2015 · meeting of 21 july 2015 agenda item...

Board of Management

Meeting of 21 July 2015

Meeting of 21 July 2015BOARD OF MANAGEMENT

Notice

NOTICE OF MEETING

A meeting of the Board of Management will take place at 1400 hours on Tuesday 21 July 2015 in the Room G10 at Aberdeen City Campus.

MEMBERS OF THE BOARD OF MANAGEMENTMr. D AndersonMs. K AndersonMs. A BellMs. S BrimmerMs. S CormackMr. D DuthieMr. I GossipProf. J HarperMr. J HendersonMs. C InglisMs. S MassonMr. K Milroy (Chair)Mr. D RussellMs. A SimpsonMr. A SmithMr. S SmithMr. R WallenMs. K Wetherall

IN ATTENDANCEMr. R Scott, Vice Principal - FinanceMs. P Kesson, Minute SecretaryMs. P May, Secretary to the Board of Management

IN ATTENDANCE FOR AGENDA ITEM 6.1Mr. M Morrice, Burness Paull

Meeting of 08 June 2015

Agenda

BOARD OF MANAGEMENT

21 July 2015

Agenda

1 Apologies for absence

2 Minute of previous meeting2.1 Minute of the meeting of 08 June 2015 (paper enclosed)

3 Matters arising from previous meeting3.1 To be raised at the meeting

4 Matters for decision4.1 Fraserburgh Masterplan (paper enclosed)4.2 Anti-Bribery Policy (paper enclosed)4.3 Whistleblowing Policy (paper enclosed)

5 Summation of Business and Date of Next Meeting

Reserved Item of Business6 Matter for decision

6.1 Sale of the Site of the Former Balgownie Centre

7 Summation of Reserved Item of Business

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BOARD OF MANAGEMENTMeeting of 21 July 2015

Agenda Item 3.1

Draft Minute of Meeting of 08 June 2015

The meeting commenced at 1400 hours.

PRESENT – D Anderson, A Bell, S Brimmer, S Cormack, D Duthie, I Gossip, K Gravells, J Harper, C Inglis, S Masson, K Milroy (Chair), D Rennie, D Russell, A Simpson, A Smith, R WallenIN ATTENDANCE - R Scott, P May, P Kesson

Prior to the commencement of the meeting Mr Milroy, on behalf of the Board, thanked Mr Dunn for his two terms of service as a representative of teaching staff on the Board.

Mr Milroy welcomed Ms Masson (teaching staff representative) and Mr Russell to their first meeting of the Board.

Mr Milroy paid tribute to Mr Rennie and Ms Gravells for the significant contribution they had made to the Board during their term of office as student representatives. On behalf of the Board and the Senior Management Team Mr Milroy wished them well in their future studies.

1. Apologies for AbsenceApologies were received from J Henderson and S Smith.

2. Presentation on College IT SystemsMembers received a presentation on the College’s IT systems and related developments from Mr Matthew, Head of IT and Technical Services, and Mr Hykin, Director of IT. Information was provided on the three main phases of the IT merger programme and the College’s IT Strategy. Members were informed that work would be taking place over the summer period to solve ongoing operational problems.

Mr Milroy thanked Mr Matthew and Mr Hykin and asked that Board Members be provided with a further update in six months’ time.

3. Minute of previous MeetingThe Minute of Meeting held on 09 February 2015 was approved.

4. Matters arising from previous Meeting4.1 Student Accommodation Mr Wallen informed Members that accommodation had been sourced for UOGITTS trainees

for AY2015-16 but, unfortunately, OPITO could not advise the College at this time how many trainees would require to be accommodated, and as such the accommodation could not be secured.

4.2 Applications Mr Wallen informed Members that in comparison to the same time last year there was

currently a 10% reduction in student applications for AY2015-16, and added that it was thought that this was primarily due to young people staying on for a further year at school.

5. Report to the Board by the Regional ChairMembers noted a report by the Regional Chair providing information on: Colleges Scotland Governance; tackling educational inequality; Colleges Development Network – Board Members’ Day; and attendance at meetings.

It was agreed that feedback would be provided in due course by those Members attending the upcoming CDN Governance Event.

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Agenda Item 3.1

6. Report to the Board by the PrincipalMembers noted a report by the Principal providing information on: Aberdeenshire Council; Chief Executives’/Officers’ Forum; Regional Skills Strategy; College Curriculum Advisory Group; new quality arrangements; Associate Assessors; and management arrangements.

Mr Wallen commented that the College’s approach to filling vacant posts was to consider internal appointments in the first instance.

7. Reports by Chair and Standing Committee Chairs7.1 Meetings of Standing and Ad Hoc Committees Members were informed that approved minutes of meetings of Standing Committees that

had been held since the last meeting of the Board of Management had been circulated in hard copy to Members as appropriate.

Mr Milroy invited Members to comment or request further information on the business transacted in the Standing Committees and Ad Hoc Committees of the Board of management.

There were no matters raised by Members.

8. Matters for Decision8.1 College Budget Mr Duthie, Mr Gossip and Mr Smith declared an interest in this item by virtue of their roles

as Directors of ASET.

Members considered matters related to the College’s revenue and capital budgets.

Information was provided on: the period of transition as a result of reclassification of colleges; financial stewardship; Scottish Funding Council funding allocations; revenue budget for 2015-16; and capital plan.

Mr Scott provided further contextual information on reclassification; changes to the financial environment in which Boards operate; fiscal and financial year-ends; and the position regarding reserves.

Mr Scott informed Members that, on the basis of the budget presented, the College is expected to break even and meet the targets set by the Scottish Government.

Mr Scott commented that a major consideration for the budget going forward will be the reduction in income from ASET.

Mr Milroy commented that there are a number of high level risks which will require to be monitored.

After some discussion the Board noted the information provided in the paper; adopted the revenue budget for the academic year to 31 July 2016; and adopted the capital plan for the three financial years to 31 March 2018.

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Agenda Item 3.1

8.2 Rural and Remoteness Funding The Board considered implications for the review of rural and remoteness funding.

Information was provided on: the background to the funding allocation; review of funding; costs of serving a rural area; and review of the premium.

Mr Milroy reminded Board Members of the pledge that was made to those in rural areas of the region that there would be no reduction in access to provision, and that removal of the funding could damage the high regard the College is held in rural communities across the region.

After some discussion it was agreed that a letter from the Board would be sent to the Scottish Funding Council reinforcing the region’s case for continuing to receive rural and remoteness funding. It was also agreed that the issue would be brought to the attention of local MPs and MSPs and Aberdeenshire Council.

It was agreed that an update on the matter would be presented at the next meeting of the Board.

8.3 National Collective Bargaining The Board considered a paper providing information about progress in relation to National

Collective Bargaining.

Information was provided on: the background to national collective bargaining; progress to date; 2015/16 Pay Claims; next steps; and the draft National Recognition and Procedure Agreement (NRPA) between Scottish FE Colleges and the Educational Institute of Scotland (EIS).

Mr Milroy commented that considerable work had been undertaken by key parties in the College sector to reach the current position, and advised that the Board of Colleges Scotland endorsed the position that has been reached.

Members noted that the introduction of the NRPA was expected to reduce the flexibility that Colleges have to adopt salaries and other terms and conditions appropriate to their local circumstances e.g. NESC salaries are amongst the highest in the sector to reflect the high cost of living in the region, but are made affordable by adopting efficient working practices.

Mr Milroy advised that, following recent clarification from the Scottish Government and Colleges Scotland, the advice which has been received is that all colleges should sign up to the NRPA. Mr Milroy recommended that the Board adopt the NRPA.

Attendees noted past discussions in the region relating to a North East Scotland weighting.

After some discussion the Board adopted the NRPA as presented, but with the various reservations made in relation to the context of the agreement.

It was suggested that it would be beneficial for the College to speak to NHS Grampian regarding their experience of pay harmonisation.

8.4 Programme of Meetings AY2015-16 The Board considered and approved the establishment of a programme of meetings for

the Board and its Standing Committees for AY2015-16.

Members requested that the dates of significant events (e.g. awards ceremonies) be added into the Programme.

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Agenda Item 3.1

8.5 Programme of Board Visits AY2015-16 The Board noted and approved the proposed Programme of visits for AY2015-16.

8.6 Governance Steering Group The Board considered and approved the establishment of a Governance Steering Group. Ms Bell and Mr Duthie volunteered to join the Steering Group.

8.7 Board Member Policies The Board considered two policies which relate directly to Board Members.

Members approved the proposed Recruitment and Selection Policy for Board of Management Members subject to the inclusion of a reference to Scottish Government policy relating to a gender balance on the boards of public bodies.

Members also approved the proposed Induction Policy for Board of Management Members subject to the inclusion of an opportunity for new Members to meet informally with existing Members, and to a history of the College being provided.

8.8 Board Policies The Board undertook a review of the Risk Management Policy and the Strategic Planning

Policy for which it is responsible.

Members approved the updated Risk Management Policy.

It was agreed that the Strategic Planning Policy would be amended to include an appendix detailing external stakeholder input into the College’s strategic planning process to ensure a clear understanding of the College’s operating environment and that the Policy would be brought back to a future Board Meeting for further consideration.

It was agreed that the two policies should be cross-referenced to each other and be next reviewed in 2018.

8.9 HR Policies The Board considered the College’s Anti Bribery Policy and the Whistleblowing Policy.

A number of comments and suggestions were made. Members asked for some procedures to be clarified and for responsibilities to be assigned to identified post holders. The Principal advised that further work on the Policies would be undertaken and additional legal advice would be sought. Members requested for the Policies to be brought back to a future Board Meeting for further consideration.

9. Matters for Discussion9.1 The Living Wage The Board noted a paper providing information on the implications of becoming an

accredited Living Wage Employer.

Information was provided on the costs to the College and to College contractors.

Members agreed to the suggestion by Mr Milroy that the current position be retained and reviewed at a later date.

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Agenda Item 3.1

9.2 Board and SMT Policies The Board noted a paper and its appendices providing information on policies which the

Board, one of its Standing Committees, or the SMT, is responsible for approving.

Members agreed that no amendments were required for the approval of any policies.

Members also agreed that an annual report detailing SMT policies that have been reviewed and reapproved should be presented to the Audit Committee.

9.3 Report by the Investment and Project Committee The Board considered the work of the Investment and Project Committee.

Mr Milroy reported on the business conducted by the Committee at its meetings on 17 March and 19 May 2015, at which the project to redevelop engineering technologies training facilities at the Fraserburgh Campus was discussed.

9.4 Information on Outcomes of Internal Audits The Board considered the way in which the outcomes of internal audits are addressed.

Information was provided on: the contract with Wylie & Bisset to undertake internal audits; communicating outcomes; and possible changes to improve communication.

Members approved the suggested changes to improve communications and asked for a review of these changes to be undertaken in due course.

9.5 Board Self-evaluation Report The Board considered and adopted the amendments which had been made to the

Board’s Self-evaluation Report following a meeting held to discuss the Report on 19 May 2015.

9.6 Students’ Association Trustee Board Membership The Board noted that the proposal to appoint a Board of Management Member to the

Students’ Association Trustee Board had been given due consideration by the Trustees but had been declined.

The Principal informed Members that a review of support currently provided by the College to the Association is currently being undertaken.

It was agreed that if a significant issue arose, the Board would not be averse to a Trustee attending a meeting of the Board of Management.

10. Matters for Information10.1 Audit Scotland Report Recommendations The Board noted a paper highlighting recommendations for college boards included in

the recent Audit Scotland Report “Scotland’s Colleges 2015”.

10.2 SFC Action-Learning Project Update The Board noted a paper providing information on the College’s progress in relation to

the Scottish Funding Council’s on-going Action-Learning Project.

The Principal reported that the presentations recently given by the three pilot colleges to representatives from a number of Scottish colleges, Education Scotland and the SFC had been very well received.

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Agenda Item 3.1

10.3 Vision and Values Implementation – “One College” The Board considered and noted information on the implementation of the College’s

Vision and Values.

Information was provided on the programme of work being implemented to create a shared culture for the merged College. Members also noted the results of a recent survey seeking the views of staff one year after merger.

10.4 Equality Outcomes The Board considered and endorsed the Equality Outcomes Report.

Members noted that the College has been commended by the Equality Challenge Unit for work undertaken in taking forward the Vision and Values.

11. Summation of Business and Date of next MeetingThe Secretary gave a summation of the business conducted. The next meeting of the Board of Management is scheduled to take place on Monday 05 October 2015.

Reserved Items of Business

12. Matters for Discussion12.1 Meetings of Standing and Ad Hoc Committees 12.2 Overpayments 12.3 Animal Care Provision

12.4 Aberdeen Skills and Enterprise Training Limited – Report by Chair

13. Matters for decision13.1 Premature Retirement Policy 13.2 Sale of the Site of the former Balgownie Centre

13.3 Local Government Pension Scheme (LGPS) – Discretionary Functions Policy

Additional Reserved Item of Business - Strictly Private and Confidential

Business and Community Development/College Activity Target

13.4 Report by the Remuneration Committee

The meeting ended 1725 hours

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Agenda Item 4.1

Fraserburgh Masterplan

1. Introduction1.1. The purpose of this paper is to assist the Board of Management to consider matters

related to the project to refurbish and extend facilities for engineering technologies at the Fraserburgh Campus.

2. Background 2.1. Work was undertaken in 2014 to establish a masterplan for engineering, construction

and science training facilities at the Fraserburgh Campus, the provision of these facilities having been outwith the scope of the College 2012 project undertaken by the former Banff and Buchan College.

2.2. A process was set up to identify what work was required. This involved input from staff involved in the delivery of the curriculum in these areas. The focus was both on providing high standard facilities for the delivery of the existing provision and also on providing room for expansion of numbers of students on existing programmes (such as engineering apprenticeships) and accommodation for additional programmes to increase the range of offer at the Fraserburgh Campus (for example a science laboratory). Increasing capacity in technical subject areas is particularly important in the light of the Wood Commission recommendations regarding vocational provision for school pupils. Increased capacity for engineering provision is also a priority given the skills gap in the oil and gas industry and the high demand for places on engineering courses.

2.3. The masterplan process identified the preferred development option, which was adopted by the Board of Management in June 2014 at a budget of £8,200,000, inclusive of works, fees, equipment and VAT. The NES FE Foundation has agreed to fund the project.

2.4. Professional advisors were appointed and the project design developed.

3. Current Position3.1. The largest phase of the programme of construction works has been put to tender. Tender

returns have been evaluated. The lowest cost tender is more than the budget for this phase of works. It is at a cost level that utilises the entire contingency that was built into the project budget and takes the anticipated cost of construction over the threshold at which the College must follow a European Union (OJEU) compliant procurement process. Therefore, an OJEU compliant tender process has begun and will be completed in September 2015. This does not change the project end date and the facilities are expected to be available as planned for use in September 2016.

3.2. There is evidence that obligations to comply with environmental standards such as BREEAM, while having benefits of reducing environmental impacts, act to increase construction costs. Although build costs might remain static, sustainability–led elements included in design specifications act to increase construction cost.

3.3. In addition, the increase in budget cost is attributable to factors that were not apparent when the budget was first established, these are: additional foundations due to soil conditions; necessary drainage diversion; extended service road and yards; upgrading gas supplies; acoustic linings and baffles; requirements for raised flooring in classrooms; additional toilets and car parking.

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Agenda Item 4.1

4. Budget4.1. The overall budget for the project is £8,200,000. Given that it is expected that the construction

cost that might result from the current OJEU procurement will be at the budget level (taking all contingency amounts into account), it is proposed that the budget is increased to £8,550,000 by adding a contingency of £350,000.

5. Recommendation5.1. It is recommended that the Board:

5.1.1. note the information provided in this paper;5.1.2. approve the allocation of a further contingency of £350,000 to the project budget;

and 5.1.3. request the NES FE Foundation to provide a further grant of £350,000 to fund this

contingency amount.

Rob Wallen Roddy ScottPrincipal Vice Principal - Finance

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Agenda Item 4.2

Anti-Bribery Policy

1. Introduction1.1 The purpose of this paper is to provide the Board of Management with a further opportunity

to consider the College’s Anti-Bribery Policy.

2. Background2.1 At its meeting on 08 June 2015, the Board of Management reviewed this policy and made

suggestions for amendments. These amendments have been reviewed and incorporated, and are highlighted in yellow in the copy of the policy attached as Appendix 1 to this paper.

2.2 It should be noted that Statement 14.2 has been reviewed by the College’s solicitors as requested and their advice was that it should remain to protect the College.

2.3 Once approved, this policy will be included in induction and regular updates and briefings will be given to staff.

3. Recommendation3.1 It is recommended that the Board consider and, if so minded, approve the Anti-Bribery

Policy.

Rob Wallen Elaine HartPrincipal Vice Principal Human Resources

© North East Scotland College All rights reserved

Review Date: July 2017

Ant

i-Br

ibe

ry P

olic

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Agenda Item 5.3, Appendix 1

Ref:

Anti-Bribery Policy

of 12 © North East Scotland College. All rights reserved.

Anti-Bribery Policy

1. Policy statement

1.1 It is North East Scotland College’s policy to conduct all of our business in an honest

and ethical manner. We take a zero-tolerance approach to bribery and corruption and are committed to acting professionally, fairly and with integrity in all our business dealings and relationships wherever we operate and implementing and enforcing effective systems to counter bribery and corruption.

1.2 This Policy should be read in conjunction with our Anti-Bribery and Corruption

Statement, a copy of which is attached. 1.3 The College will uphold all laws relevant to countering bribery and corruption.

However, we remain bound by UK laws, including the Bribery Act 2010, in respect of our conduct both at home and abroad.

2. About this policy

2.1 The purpose of this policy is to:

(a) provide further details of the College’s position, as set out in the Anti-Bribery &

Corruption Statement, including details of our responsibilities, and of those working for us, in observing and upholding our position on bribery and corruption; and

(b) provide information and guidance to those working for us on how to recognise and deal with bribery and corruption issues.

2.2 It is a criminal offence to offer, promise, give, request, or accept a bribe. Individuals

found guilty can be punished by up to ten years' imprisonment and/or a fine. As an employer if we fail to prevent bribery we can face an unlimited fine, exclusion from tendering for public contracts, and damage to our reputation. We therefore take our legal responsibilities very seriously.

2.3 The College has established detailed risk management procedures to prevent, detect

and prohibit bribery. The College will conduct risk assessments for each of its key business activities on a regular basis and, where relevant, will identify employees or officers of the College who are in positions where they may be exposed to bribery.

2.4 In this policy, third party means any individual or organisation you come into contact

with during the course of your work for us, and includes actual and potential clients, customers, suppliers, distributors, business contacts, agents, advisers, and government and public bodies, including their advisors, representatives and officials, politicians and political parties.


Anti-Bribery Policy

2.5 This policy has been [agreed OR implemented following consultation] with the Local Joint Negotiating Committees for Support and Lecturing Staff.

2.6 This policy does not form part of any employee's contract of employment and we may

amend it at any time.

3. Who must comply with this policy?

This policy applies to all persons working for the College or on our behalf in any capacity, including employees at all levels, directors, officers, agency workers, seconded workers, volunteers, interns, agents, contractors, external consultants, third-party representatives and business partners, sponsors, or any other person associated with us, wherever located.

4. Who is responsible for the policy?

4.1 The Board of Management has overall responsibility for ensuring this policy complies

with our legal and ethical obligations, and that all those under our control comply with it.

4.2 The Vice Principal (HR) has primary and day-to-day responsibility for implementing

this policy, monitoring its use and effectiveness, dealing with any queries about it, and auditing internal control systems and procedures to ensure they are effective in countering bribery and corruption.

4.3 Management at all levels are responsible for ensuring those reporting to them

understand and comply with this policy.

4.4 Managers will receive adequate and regular briefings as appropriate. 4.5 You are invited to comment on this policy and suggest ways in which it might be

improved. Comments, suggestions and queries should be addressed to the Vice Principal (HR).

5. What are bribery and corruption?

5.1 Bribery is offering, promising, giving or accepting any financial or other advantage, to induce the recipient or any other person to act improperly in the performance of their functions, or to reward them for acting improperly, or where the recipient would act improperly by accepting the advantage.

5.2 An advantage includes money, gifts, loans, fees, hospitality, services, discounts and

the award of a contract or anything else of value.


Anti-Bribery Policy

5.3 A person acts improperly where they act illegally, unethically, or contrary to an expectation of good faith or impartiality, or where they abuse a position of trust. The improper acts may be in relation to any business or professional activities, public functions, acts in the course of employment, or other activities by or on behalf of any organisation of any kind.

5.4 Corruption is the abuse of entrusted power or position for private gain.

Examples: Offering a bribe A member of the faculty offers an external inspector tickets to a major sporting event, but only if they agree to rate the College highly as part of their review. This would be an offence as the member of staff is making the offer to gain a commercial advantage. The College may also be found to have committed an offence because the offer has been made to obtain business for us. It would also likely be an offence for the external inspector to accept the offer. Receiving a bribe The procurement manager of the College – who is currently involved in a tender process for services to be provided to the College – is approached by the College’s current supplier and offered a two night break in an expensive hotel. In return the supplier expects the procurement manager to use their influence in the College to ensure it continues to do business with them. It is an offence for a supplier to make such an offer. It would be an offence for the procurement manager to accept the offer as it would be doing so to gain a personal advantage. Bribing a foreign official Whilst on a field trip abroad, a member of staff arranges for the College to pay an additional "facilitation" payment to an immigration official to enable students to move through customs more quickly. The offence of bribing a foreign public official is committed as soon as the offer is made. This is because it is made to gain a business advantage for the College. We may also be found to have committed an offence.

6. What you must not do

It is not acceptable for you (or someone on your behalf) to: (a) give, promise to give, or offer, a payment, gift or hospitality with the expectation or

hope that a business advantage will be received, or to reward a business advantage already given;


Anti-Bribery Policy

(b) give or accept a gift or hospitality during any commercial negotiations or tender process, if this could be perceived as intended or likely to influence the outcome;

(c) accept a payment, gift or hospitality from a third party that you know or suspect is offered with the expectation that it we will provide a business advantage for them or anyone else in return;

(d) accept hospitality from a third party that is unduly lavish or extravagant under the

circumstances.

(e) offer or accept a gift to or from government officials or representatives, or politicians or political parties, without the prior approval of the Vice Principal (HR);

(f) threaten or retaliate against another individual who has refused to commit a bribery offence or who has raised concerns under this policy; or

(g) engage in any other activity that might lead to a breach of this policy.

7. Facilitation payments and kickbacks

7.1 The College does not make, and will not accept, facilitation payments or "kickbacks" of any kind.

7.2 Facilitation payments, also known as "back-handers" or "grease payments", are

typically small, unofficial payments made to secure or expedite a routine or necessary action (for example by a government official). They are not common in the UK, but are common in some other jurisdictions.

7.3 Kickbacks are typically payments made in return for a business favour or advantage. 7.4 You must avoid any activity that might lead to a facilitation payment or kickback being

made or accepted by us or on our behalf, or that might suggest that such a payment will be made or accepted. If you are asked to make a payment on behalf of the College, you should always be mindful of what the payment is for and whether the amount requested is proportionate to the goods or services provided. You should always ask for a receipt which details the reason for the payment. If you have any suspicions, concerns or queries regarding a payment, you should raise these with the Vice Principal (HR).

8. Gifts, hospitality and expenses

8.1 This policy allows reasonable and appropriate hospitality or entertainment given to or received from third parties, for the purposes of:

(a) establishing or maintaining good business relationships;

(b) improving or maintaining our image or reputation; or


Anti-Bribery Policy

(c) marketing or presenting our products and/or services effectively.

8.2 The giving and accepting of gifts is allowed if the following requirements are met:

(a) it is not made with the intention of influencing a party to obtain or retain business or a business advantage, or to reward the provision or retention of business or a business advantage, or in explicit or implicit exchange for favours or benefits;

(b) it is given in the College’s name, not in your name;

(c) it does not include cash or a cash equivalent (such as gift certificates or vouchers);

(d) it is appropriate in the circumstances, taking account of the reason for the gift, its timing and value. For example, in the UK it is customary for small gifts to be given at Christmas; and

(e) it is given openly, not secretly;

(f) it complies with any applicable local law.

8.3 Promotional gifts of low value such as branded stationery to or from existing customers, suppliers and business partners will usually be acceptable.

8.4 Reimbursing a third party's expenses, or accepting an offer to reimburse our expenses

(for example, the costs of attending a business meeting) would not usually amount to bribery. However, a payment in excess of genuine and reasonable business expenses (such as the cost of an extended hotel stay) is not acceptable.

8.5 The test to be applied is whether in all the circumstances the gift, hospitality or

payment is reasonable and justifiable. The intention behind it should always be considered. If a member of staff is unsure of the propriety of any offer of a gift or hospitality or entertainment, he/she should take advice from a member of Senior Management.

8.6 It has become quite usual in colleges for some students to offer small presents to staff

at the end of a course. These may come from the class group and may be a natural expression of gratitude. Sometimes gives may be given by individuals. However it is very important that, in an internally-assessed system, any gift cannot be perceived or portrayed as possibly having influenced decisions taken. As such, staff should only accept gifts if they are clear that doing so does not impinge on their professional integrity. Any gifts received should be tokens of appreciation, rather than anything of substantial value. Any items of substantial value that are offered should be declined politely, or if this is not possible, the member of staff should refer to his/her line manager to ensure that there is transparency in the matter.

9. Donations


Anti-Bribery Policy

9.1 We do not make contributions to political parties 9.2 We do not make charitable donations.

10. Record-keeping

10.1 The College must keep financial records and have appropriate internal controls in place which will evidence the business reason for making payments to third parties.

10.2 You must declare and record all hospitality or gifts given or received, which are outwith

the allowable limits identified in this Policy in the Central Register held by the Secretary to the Board which will be subject to managerial review.

10.3 You must submit all expenses claims relating to hospitality, gifts or payments to third

parties in accordance with our expenses policy and record the reason for expenditure. 10.4 All accounts, invoices, and other records relating to dealings with third parties

including suppliers and customers should be prepared with strict accuracy and completeness. Accounts must not be kept "off-book" to facilitate or conceal improper payments.

11. Your responsibilities

11.1 You must ensure that you read, understand and comply with this policy. 11.2 The prevention, detection and reporting of bribery and other forms of corruption are

the responsibility of all those working for us or under our control. You are required to avoid any activity that might lead to, or suggest, a breach of this policy.

11.3 You must notify the College as soon as possible if you believe or suspect that a

conflict with this policy has occurred, or may occur in the future. For example, if a client or potential client offers you something to gain a business advantage with us, or indicates to you that a gift or payment is required to secure their business. Further "red flags" that may indicate bribery or corruption are set out in clause 16.

12. How to raise a concern

12.1 You are encouraged to raise concerns about any issue or suspicion of bribery or

corruption at the earliest possible stage. 12.2 If you are offered a bribe, or are asked to make one, or if you believe or suspect that

any bribery, corruption or other breach of this policy has occurred or may occur, you must report it in accordance with our Whistleblowing Policy as soon as possible.


Anti-Bribery Policy

12.3 If you are unsure about whether a particular act constitutes bribery or corruption, raise it with your manager or the Vice Principal (HR).

13. Protection

13.1 Individuals who refuse to accept or offer a bribe, or who raise concerns or report

another's wrongdoing, are sometimes worried about possible repercussions. We aim to encourage openness and will support anyone who raises genuine concerns in good faith under this policy, even if they turn out to be mistaken.

13.2 The College is committed to ensuring no one suffers any detrimental treatment as a

result of refusing to take part in bribery or corruption, or because of reporting in good faith their suspicion that an actual or potential bribery or other corruption offence has taken place, or may take place in the future. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a concern. If you believe that you have suffered any such treatment, you should inform the Vice Principal (HR) immediately. If the matter is not remedied, and you are an employee, you should raise it formally using our Grievance Procedure, which can be found on the Intranet.

14. Training and communication

14.1 Briefings on this policy form part of the induction process for all individuals who work

for us, and regular updates will be provided as necessary. 14.2 Our zero-tolerance approach to bribery and corruption must be communicated to all

suppliers, contractors and business partners at the outset of our business relationship with them and as appropriate thereafter.

15. Breaches of this policy

15.1 Any employee who breaches this policy will face disciplinary action, which could result

in dismissal for misconduct or gross misconduct. 15.2 We may terminate our relationship with other individuals and organisations working on

our behalf if they breach this policy.

16. Potential risk scenarios: "red flags"

The following is a list of possible red flags that may arise during the course of you working for us and which may raise concerns under various anti-bribery and anti-corruption laws. The list is not intended to be exhaustive and is for illustrative purposes only.

If you encounter any of these red flags while working for us, you must report them promptly:


Anti-Bribery Policy

(a) you become aware that a third party engages in, or has been accused of engaging in, improper business practices;

(b) you learn that a third party has a reputation for paying bribes, or requiring that bribes are paid to them, or has a reputation for having a "special relationship" with foreign government officials;

(c) a third party insists on receiving a commission or fee payment before committing to sign up to a contract with us, or carrying out a government function or process for us;

(d) a third party requests payment in cash and/or refuses to sign a formal commission or fee agreement, or to provide an invoice or receipt for a payment made;

(e) a third party requests that payment is made to a country or geographic location

different from where the third party resides or conducts business;

(f) a third party requests an unexpected additional fee or commission to "facilitate" a service;

(g) a third party demands lavish entertainment or gifts before commencing or continuing contractual negotiations or provision of services;

(h) a third party requests that a payment is made to "overlook" potential legal violations;

(i) a third party requests that you provide employment or some other advantage to a friend or relative;

(j) you receive an invoice from a third party that appears to be non-standard or customised;

(k) a third party insists on the use of side letters or refuses to put terms agreed in writing;

(l) you notice that we have been invoiced for a commission or fee payment that appears large given the service stated to have been provided;

(m) a third party requests or requires the use of an agent, intermediary, consultant, distributor or supplier that is not typically used by or known to us;

(n) you are offered an unusually generous gift or offered lavish hospitality by a third party.


Anti-Bribery Policy

Status: Draft for consideration by Board of Management

Date of version: July 2015

Responsibility for Policy: Vice Principal - HR

Responsibility for Implementation: Vice Principal - HR

Responsibility for Review: Vice Principal - HR

Review date: July 2017

NORTH EAST SCOTLAND COLLEGE

ANTI-‐BRIBERY AND CORRUPTION STATEMENT Introduction The Board of Management of North East Scotland College recognises that bribery and corruption has a detrimental effect on communities wherever they occur. Corrupt acts expose North East Scotland College and its employees to the risk of prosecution, fines and imprisonment, as well as endangering the College’s reputation. It is the College’s policy to comply with all anti-bribery and corruption laws. In line with the requirements of the UK Bribery Act 2010, the College has taken steps to introduce “adequate procedures” which are rigorously applied and reviewed to ensure that we are fully compliant. It is the College’s policy to maintain the highest level of ethical standards in the conduct of its business affairs and North East Scotland College has a zero tolerance of bribery and corruption. Scope North East Scotland College’s zero tolerance of bribery and corruption applies to all members, officers and employees as well as any agents, contractors, representatives or other parties acting on behalf of the College or any subsidiary, of which the College has effective control, in any country that we operate. The College expects our business partners, suppliers and contractors to act with integrity and without thought or actions involving bribery and/or corruption and will, where appropriate, include clauses to this effect in relevant contracts. The Statement North East Scotland College has prepared a statement (Annex A) setting out clearly its position in relation to bribery. By means of this statement, the College prohibits any inducement which results in a personal gain or advantage to the recipient or any person or body associated with them, and which is intended to influence them to take action which may not be solely in the interests of North East Scotland College or of the person or body employing them or whom they represent.


Anti-Bribery Policy

Expectations of North East Scotland College and Staff The prevention, detection and reporting of bribery and corruption is the responsibility of all employees throughout North East Scotland College. Suitable channels of communication by which employees or others can report confidentially any suspicion of bribery will be maintained. The Principal has lead responsibility for policy implementation within North East Scotland College and this statement is signed by the Principal to demonstrate the Board of Management’s commitment. (signed) R Wallen Principal and Chief Executive North East Scotland College


Anti-Bribery Policy

Annex A

THE STATEMENT The Board of Management of North East Scotland College prohibits: the offering, the giving, the

solicitation or the acceptance of any bribe, whether cash or other inducement to or from any

person or company, wherever they are situated and whether they are a public official or body

or private person or company by any individual employee, agent or other person or body

acting on North East Scotland College's behalf in order to gain any commercial, contractual or

regulatory advantage for North East Scotland College in a way which is unethical or in order to

gain any personal advantage, financial or otherwise, for the individual or anyone connected

with the individual.

25


Agenda Item 4.3

Whistleblowing Policy

1. Introduction1.1 The purpose of this paper is to provide the Board of Management with a further opportunity

to consider the College’s Whistleblowing Policy.

2. Background2.1 At its meeting on 08 June 2015 the Board of Management reviewed this policy and made

suggestions for amendments. These amendments have been reviewed and incorporated, and are highlighted in yellow in the policy attached as Appendix 1 to this paper.

3. Recommendation3.1 It is recommended that the Board consider and, if so minded, approve the Whistleblowing

Policy.

Rob Wallen Elaine HartPrincipal Vice Principal Human Resources



1. The Policy Members of staff will often be the first to be aware of misconduct which may turn out to be fraudulent, or demonstrates corruption, professional malpractice or some other form of dishonesty. North East Scotland College is committed to providing the means by which an individual may raise serious concerns which he/she may have about malpractice or corruption in the workplace. Members of staff are assured that genuine concerns which are raised without malice will be investigated. This policy outlines the means by which staff may raise concerns without fear of reprisal or victimisation. This policy covers all employees, officers, consultants, contractors, volunteers, casual workers and agency workers. This policy does not form part of any employee's contract of employment and we may amend it at any time. 2. Definition of Malpractice or Corruption This policy is not intended to provide a means for staff to express any dissatisfaction with their personal circumstances. Such matters should be raised under the College’s Grievance Procedure. Rather, this policy is intended to provide a way by which malpractice or corruption may be reported in confidence, and without fear of reprisal. The College regards malpractice and corruption to include (but not limited to): (a) criminal activity;

(b) failure to comply with any legal obligation or regulatory

requirement;

(c) miscarriages of justice;

(d) danger to health and safety;



(e) damage to the environment;

(f) bribery under our Anti- Bribery Policy; (g) financial fraud or mismanagement; (h) negligence; (i) unauthorised disclosure of confidential information;

(j) the deliberate concealment of any of the above matters. 3. The Procedure All matters raised under this policy will be treated in the strictest confidence. The procedure for raising a concern under this policy is as follows: (a) Concerns should be raised using the College’s

Whistleblowing Form – a copy of which is attached to this policy. Alternatively concerns can be raised orally with the individuals detailed below or with the Head of Human Resources.

(b) Wherever possible, member of staff should raise the matter

in the first instance with the Vice Principal (HR), or another member of the senior management team.

(c) If there is a reason why a member of staff cannot raise the

matter with the Vice Principal (HR), or another member of the senior management team, (e.g. where the matter is more serious, or the individual feels their complaint has not been addressed, or if the concern is about the Vice Principal (HR) or another member of the senior management team) the staff member should be raised with the Principal.

(d) If the complaint is against the Principal, the matter should

be raised with the Chair of the College’s Board of Management.

(e) The allegations will then be investigated. This will normally



include meeting with the individual to discuss their concerns. The individual may bring a colleague or union official/representative to this meeting should they wish, providing any such companion respects the confidentiality of the disclosure and any subsequent investigation.

(f) The Principal (or where appropriate Chair of the Board) will

then decide what action (if any) is to be taken. Action could include referral to the police/other relevant authorities or the instigation of the College’s Disciplinary Policy.

(g) The Principal (or Chair where appropriate) will write to the

individual who raised the matter and inform him/her of the outcome of the investigation where possible, which should be treated in confidence. However, sometimes the need for confidentiality may prevent the College giving the individual specific details of the investigation or outcome.

(h) If the individual is dissatisfied with the outcome, he/she may

address his/her concerns to a senior manager or Board member not involved in the investigation of the original whistleblowing allegation.

4. External Disclosures The aim of this policy is to provide an internal mechanism for reporting, investigating and remedying any wrongdoing in the workplace. In most cases individuals should not find it necessary to alert anyone externally. The law recognises that in some circumstances it may be appropriate for a member of staff to report their concerns to an external body such as a regulator. It will very rarely, if ever, be appropriate to alert the media. The College strongly encourages individuals to seek advice before reporting a concern to anyone external. The independent whistleblowing charity, Public Concern at Work, operates a confidential helpline. They also have a list of prescribed regulators for reporting certain types of concern. Their contact details are below: Helpline: (020) 7404 6609



E-mail: [email protected] 5. Confidentiality

The College hopes that staff will feel able to voice whistleblowing concerns openly under this policy. However, if an individual wants to raise their concern confidentially, we will make every effort to keep their identity secret. If it is necessary for anyone investigating their concern to know your identity, we will discuss this with you. However, the College does not encourage staff to make disclosures anonymously. Proper investigation may be more difficult or impossible if we cannot obtain further information from the individual raising the complaint. It is also more difficult to establish whether any allegations are credible. 6. False Accusations Abuse of this policy by staff members making false or malicious allegations or with a view to personal gain will be regarded as a serious offence and subject to disciplinary action (up to and including dismissal). This policy does not in any way prevent an individual seeking redress at law against anyone making false allegations against him/her. 7. Victimisation It will be a disciplinary offence to victimize, discriminate or otherwise subject a member of staff to a detriment who has raised a genuine concern under the terms of this policy. If a member of staff believes that they have suffered any such treatment, they should inform the Vice Principal (HR), or another member of the senior management team, immediately. If the matter is not remedied the individual should raise it formally using the College’s Grievance Procedure.



Status: Draft for consideration by Board of Management

Date of version: July 2015

Responsibility for Policy: Principal

Responsibility for Implementation: Vice Principal - HR

Responsibility for Review: Vice Principal - HR

Review date: July 2017



Form for making a public interest disclosure (whistleblowing)

This form is intended for use by any individual working for North East Scotland College (including employees, officers, consultants, contractors, volunteers, interns, casual workers and agency workers) who wishes to raise an issue about wrongdoing in the workplace.

This form should be used to report wrongdoing within the College (for example, financial irregularities or health and safety concerns), rather than to raise a personal grievance (for example, if you would like to make an allegation of bullying or harassment, or are complaining that your contract of employment has been breached).

If you are unsure about whether your concerns are best dealt with under the College’s Whistleblowing Policy or Grievance Policy, please read the College’s Whistleblowing Policy, which provides examples of the issues that should be reported using this form. If, having read the Whistleblowing Policy, you remain unsure about which procedure to use, please consult the Vice Principal (HR), or another member of the senior management team, for further advice.

Once you have submitted this form, the College’s Whistleblowing Policy will be invoked. This will result in an investigation, which will involve anyone you may have implicated below.

In certain circumstances, you can request that your concerns be kept anonymous. Where possible, the College will respect a request for anonymity, but cannot guarantee that it will be able to do so.

This form should be completed and delivered to the appropriate individual as outlined in the Whistleblowing Policy in an envelope marked "confidential" or sent as an email attachment with "confidential" in the subject line.

Formal public interest disclosure (whistleblowing)

Employee's name:

Employee's job



title:

Employee's department:

Date:

Does your public interest disclosure relate to a member of the senior management team?

Yes/No

Summary of disclosure:

Please set out the details of the issue that you wish to raise, providing examples where possible, particularly dates, times, locations and the identities of those involved. You may attach additional sheets if required.

Individuals involved:

Please provide the names and contact details of any people involved in your concerns, including witnesses.

Outcome requested:

Please set out how you would like to see the issue dealt with, and why and how you believe that this will resolve the issue.



Declaration:

I confirm that the above statements are true to the best of my knowledge, information and belief. I understand that, if I knowingly make false allegations, this may result in the College taking disciplinary action against me.

Form completed by:

Signature:

For completion by the College:

Date form received by the College:

Name of recipient and job role:

Signature:

board of management meeting of 21 july 2015...jul 21, 2015 · meeting of 21 july 2015 agenda item...

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